Asia Pacific Internal Audit, Compliance Auditor, Manager/ Senior Manager
Morgan Stanley
Hong Kong, Hong Kong, Hong Kong


Company ProfileMorgan Stanley is a leading global financial services company providing a wide range of investment banking, securities, investment management and wealth management services.

The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 747 offices in 42 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic.

Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow.

A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.Department ProfileRole DescriptionMorgan Stanley is currently seeking an experienced auditor for audit coverage of Compliance across Asia.

This role will suit individuals who seek a varied portfolio auditing across all areas of Compliance relevant to Morgan Stanley’s businesses.

Based in Hong Kong and reporting to Asia Legal, Compliance and Company Admin Audit Director, this role is responsible for performing risk assessments and assisting in planning, executing and reporting on Compliance audits, including, but not limited to :

  • Independently plan and perform Compliance audits across Asia.
  • Communicate effectively with management and staff both locally and overseas.
  • Co-ordinate with auditors around the globe on multi-region audits to ensure timely and effective completion.
  • Discuss and finalize audit findings with auditees.
  • Keep informed of industry developments and use this information to inform audit scoping and risk assessments.
  • Develop effective relationship with audit clients across Asia Pacific.
  • Be consistent in applying strong internal audit methodology standards.
  • Qualifications

  • University degree.
  • ACAMS, Certified Regulatory Compliance Manager (CRCM), and / or Institute of Internal Auditors (IIA) certification a plus.
  • 5+ years of work experience as Compliance Specialist (e.g. a Compliance Officer, Regulator or Consultant) - candidates with more experience preferred
  • Advanced knowledge of the various Compliance regulations, including Trade Surveillance requirements.
  • Excellent communication skills in English. Korea language skills a plus.
  • Attention to detail, good documentation and report writing skills.
  • Bright, motivated and keen learner.
  • Team player with ability to work independently in a fast-paced environment and within a small team setting.
  • Less than 10% travel required.
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